Yearly Listing | Search Indiana Secretary of State - Securities: Administrative Actions      
Administrative Actions Yearly Listing
2010
Jan  Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
FileCause NoDate IssuedRespondentsActionsEntity Types
File 10-0461 CA 12/30/2010
INDEPENDENT GENERAL
ERNEST J. SZASZ
Consent Agreement Securities
File 10-0468 CA 12/30/2010
KARY WEIHE & ASSOCIATES, INC.
Consent Agreement Loan Broker
File 10-0469 CD... 12/30/2010
CLAUDETTE FOERSTER
Consent Agreement Loan Broker
File 10-0394 RO 12/20/2010
INTEGRA AUTO
JOSE BUSTEMANTE
Consent Agreement Dealer
File 10-0146 CA 12/20/2010
CRAIG DAVID COPEN
Consent Agreement Loan Broker
File 10-0308 CD... 12/16/2010
DOCK TO DOCK TRUCKING
IVAN CHESTER BUSH
Final Order Securities
File 10-0429 CA... 12/16/2010
PETER MARTINS BURGELIS
Final Order Loan Broker
File 10-0474 CA 12/13/2010
JONES MOTOR WORKS, LLC
DAVID JONES
Consent Agreement Dealer
File 10-0480 CA 12/8/2010
MC AUTO SALES, INC.
JUAN SANCHEZ
Consent Agreement Dealer
File 10-0460 RO 12/6/2010
WESLEY AUTO LIMITED, INC.
MARK D. WINDERS
Revocation Order Dealer
File 10-0463 RO... 12/6/2010
AUTO ESCORTS, INC.
VERTUS VIELOT, JR.
Revocation Order Dealer
File 10-0464 RO 12/6/2010
NEW YANKEE AUTO SALES, LLC
ROBERT MARRERO
Revocation Order Dealer
File 10-0424 CA 12/6/2010
CHRISTOPHER STAFFORD
Consent Agreement Loan Broker
File 10-0426 CA 12/1/2010
FRED SHIMFESSEL
Consent Agreement Loan Broker
File 10-0452 RO 12/1/2010
STARS CARS, INC.
ANSELMO MEDICI
Revocation Order Dealer
File 10-0453 RO 12/1/2010
SUPER AUTO SALES, INC.
TAHIRUDDIN I. SAIYED
Revocation Order Dealer
File 10-0454 RO 12/1/2010
SUPERIOR MOTORS, INC.
ANDY ALAME
Revocation Order Dealer
File 10-0455 RO 12/1/2010
TOTO MOTORS, LLC
AHMAD M. TOUNISI
Revocation Order Dealer
File 10-0456 RO 12/1/2010
V&E AUTO SALES
VALENCIA EWINGS
Revocation Order Dealer
File 10-0309 CA 12/1/2010
PRIORITY MORTGAGE, INC.
CARRIE A. STUCKEY
Consent Agreement Loan Broker
File 10-0298 CA 12/1/2010
MARK HITCHINGS
Consent Agreement Loan Broker
File 10-0353 RO... 11/30/2010
ARMO MOTORS, INC.
KAREN MELIKJANYAN
Consent Agreement Dealer
File 10-0356 RO 11/30/2010
PREMIUM AUTO BROKERS, INC.
MAX GORENYUK
Consent Agreement Dealer
File 10-0234 RO... 11/30/2010
ADIGE EMPIRE OTTOMAN, INC.
HAKAN GOVDELI
Consent Agreement Dealer
File 10-0237 RO 11/30/2010
PS MIDWEST MOTORS, INC.
PASQUALE SANTUCCI
Consent Agreement Dealer
File 10-0457 RO 11/30/2010
VERONA AUTO SALES, LLC
RAMONA CHILDERS
Revocation Order Dealer
File 10-0458 RO 11/30/2010
VIDAL INTERNATIONAL MOTOR SPORTS, INC.
DIEGO VIDAL
Revocation Order Dealer
File 10-0465 RO 11/30/2010
PRESTIGE MOTOR GROUP, INC.
MARIO EWELL
Revocation Order Dealer
File 10-0470 CD 11/30/2010
STEVEN L. BUCKSOT D/B/A STEVEN L. BUCKSOT
Consent Agreement Securities
File 10-0471 CA 11/30/2010
CHRISTIAN SERVICE FOUNDATION, INC.
Consent Agreement Securities
File 10-0473 CA 11/30/2010
VAL'S AUTO NETWORK
VAL GRUZDOV
Consent Agreement Dealer
File 10-0433 RO 11/30/2010
CALDWELL AUTO BROKERS
JAMES ROYCE CALDWELL
Consent Agreement Dealer
File 10-0440 RO 11/30/2010
MAZ MOTORS, INC.
MAZEN SAFADI
Consent Agreement Dealer
File 10-0411 RO... 11/30/2010
RUMEREX, LLC
GEORGE C. EKELEDO
Consent Agreement Dealer
File 10-0386 RO 11/30/2010
JOSADE IMPORT EXPORT, INC.
JOSEPH ADEBAYO
Consent Agreement Dealer
File 10-0442 RO 11/29/2010
PJC AUTO SALES, INC.
PEDRO NETTO
Revocation Order Dealer
File 10-0445 RO... 11/29/2010
RAE MOTORS, INC.
CHRIS KUNERT
Revocation Order Dealer
File 10-0446 RO 11/29/2010
RENAISSANCE MAN
ANDRE ALSTON
Revocation Order Dealer
File 10-0447 RO 11/29/2010
RON'S DISCOUNT AUTO SALES, INC.
RONALD LADER
Revocation Order Dealer
File 10-0449 RO... 11/29/2010
SKYE RV'S & AUTOS, INC.
DELILAH THOMPSON
Revocation Order Dealer
File 10-0423 CA 11/29/2010
DERBY CITY FINANCIAL, LLC
Consent Agreement Loan Broker
File 10/0443 RO 11/29/2010
QUAD J. DISCOUNT CARS AND PARTS, INC.
LAWANDA D. FREDERICK
Revocation Order Dealer
File 10-0479 CA 11/24/2010
BROOKSTONE MORTGAGE GROUP, LLC
Consent Agreement Loan Broker
File 10-0467 CA 11/24/2010
FUHRMANN CAPITAL, LLC
RYAN FUHRMANN
Consent Agreement Other
File 10-0469 CD... 11/24/2010
CLAUDETTE FOERSTER
Cease and Desist Loan Broker
File 10-0428 CA 11/24/2010
MICHAEL LEE CLAYTON
Consent Agreement Loan Broker
File 10-0450 RO... 11/24/2010
SMOOTH LANES AUTO
ANDRE LEE PHILPOTTS
Revocation Order Dealer
File 10-0451 RO... 11/24/2010
SOUTHSIDE CUSTOM AUTOS, INC.
MAURICE HALL
Revocation Order Dealer
File 10-0425 CA 11/24/2010
HOMEQUEST MORTGAGE NETWORK, LLC
JERRY VAN SLAVENS
Consent Agreement Loan Broker
File 10-0271 CA 11/18/2010
WELLS FARGO ADVISORS, LLC
Consent Agreement Other
File 10-0312 DO 11/17/2010
ALLSTAR AUTO SALES, INC.
NICOLO ZABBATINO
Consent Agreement Dealer
File 10-0317 DO 11/17/2010
STG AUTO BROKER, INC.
TSZ CHUN LO
Consent Agreement Dealer
File 10-0322 DO 11/17/2010
PLATINUM SELECT AUTO SALES, INC.
HAZRAT NABI HOTAKI
Consent Agreement Dealer
File 10-0059 CA 11/17/2010
SOUTH AMERICAN TRADING, INC.
TEODORO S. GALLO-TESEN
Consent Agreement Securities
File 10/0320 DO 11/17/2010
GULF COAST AUTO SALES, INC.
TERI COLAS
Consent Agreement Dealer
File 10-0481 SR 11/17/2010
KELLAR KING & ASSOCIATES, INC.
Revocation Order Other
File 10-0314 DO 11/16/2010
NTM AUTO SALES, INC.
SAUL M. SANCHEZ
Consent Agreement Dealer
File 10-0326 RO 11/16/2010
RKS PREMIER AUTO SALES, INC.
RICARDO A. SARRIA
Consent Agreement Dealer
File 10-0328 RO 11/16/2010
NO HASSLE AUTO SALES, INC.
KEENAN DEAN
Consent Agreement Dealer
File 10-0334 RO 11/15/2010
ZEEZ AUTO SALES, INC.
UMAIR AZIZ
Consent Agreement Dealer
File 10-0342 RO 11/15/2010
VALUE AUTO EXPERTS, INC.
PAVLO KARPIN
Consent Agreement Dealer
File 10-0343 RO 11/15/2010
MVP AUTOS & SPA, INC.
MICHAEL HERNANDEZ
Consent Agreement Dealer
File 10-0345 RO 11/15/2010
GRANT MOTORS, LLC
DERRICK GRANT
Consent Agreement Dealer
File 10-0321 DO 11/15/2010
T&M AUTO AND BOAT, INC.
MARC LARIZ
Consent Agreement Dealer
File 10-0323 RO 11/15/2010
MATCHPOINT AUTO GROUP, LLC
PAUL BROST
Consent Agreement Dealer
File 10-0324 RO 11/15/2010
NOTTAP AUTO SALES, INC.
DANIEL PATTON
Consent Agreement Dealer
File 10-0325 RO 11/15/2010
RYAN'S AUTOMOTIVE, INC.
RICK RYAN
Consent Agreement Dealer
File 10-0427 CA 11/15/2010
NICHOLAS SALFI
Cease and Desist Loan Broker
File 10-0313 DO 11/5/2010
NC AUTO SALES, INC.
NELSON CORGA
Consent Agreement Dealer
File 10-0350 RO 11/5/2010
CHICAGO CAR CONNECTION, INC.
MARK B. FRIEDMAN
Consent Agreement Dealer
File 10-0332 RO 11/5/2010
D AND D AUTO SALES, INC.
ROBYN FOSTER
Consent Agreement Dealer
File 10-0336 RO 11/5/2010
CONTRERAS MOTORSPORTS, INC.
EDFRANK A. CONTRERAS
Consent Agreement Dealer
File 10-0337 RO 11/5/2010
NEW 2 YOU AUTO SALES, INC.
LEON HILL
Consent Agreement Dealer
File 10-0338 RO 11/5/2010
EAST COAST USED CARS, INC.
MARJORIE DIPISA
Consent Agreement Dealer
File 10-0339 RO 11/5/2010
LV AUTO CENTER, INC.
CHONG KWAK
Consent Agreement Dealer
File 10-0329 RO 11/5/2010
ALPHA AUTO SALES, INC.
ZAFAR IQBAL
Consent Agreement Dealer
File 10-0297 CA 11/3/2010
PLANNED INVESTMENT CO., INC.
DARRIN LEE HUGHES
Consent Agreement Securities
File 10-0472 SR 11/3/2010
INFINITY COLLECTIONS, INC.
Revocation Order Other
File 10-0431 CA 11/1/2010
KELLY HOOK
Consent Agreement Loan Broker
File 10-0315 DO 11/1/2010
KING OF AUTO SALES, INC.
FREDDIE L. KING, JR.
Consent Agreement Dealer
File 10-0316 DO 11/1/2010
CARS, CLOTHES & CONDOS, INC.
BRANDON BROWN
Consent Agreement Dealer
File 10-0267 CA 11/1/2010
BACKOFF FINANCIAL SERVICES
JAMES STUART BACKOFF
Consent Agreement Securities
File 10-0330 RO 11/1/2010
B BROTHERS MOTORS, INC.
USMAN BHATTI
Consent Agreement Dealer
File 10-0331 RO 11/1/2010
IMPRESSIVE AUTOMOTIVE, INC.
EUGENE FANFAN
Consent Agreement Dealer
File 10-0327 RO 11/1/2010
HITECH AUTO SALES, INC.
ARIF CHOWDHURY
Consent Agreement Dealer
File 10-0319 DO 11/1/2010
FRONTLINE AUTO WHOLESELLER, INC.
STEVEN J. MCADAMS
Consent Agreement Dealer
File 10-0340 RO 11/1/2010
ASHBURN MOTORS, INC.
DONG H. LEE
Consent Agreement Dealer
File 10-0341 RO 11/1/2010
CHICAGO MOTORCARS GROUP, INC.
YLLI KARAQICA
Consent Agreement Dealer
File 10-0333 RO 11/1/2010
NATIONAL AUTO FINDERS, LLC
DENNIS J. BROUGH
Consent Agreement Dealer
File 10-0335 RO 11/1/2010
RYAN'S EXOTIC MOTORCARS, INC.
MEADE RYAN GOUGEN
Consent Agreement Dealer
File 10-0346 RO 11/1/2010
GOULDS SALES & LEASING, INC.
DARREN MARTIN
Consent Agreement Dealer
File 10-0344 RO 11/1/2010
SELECT & DRIVE, INC.
JESSE R. THOMAS
Consent Agreement Dealer
File 10-0363 RO 11/1/2010
SARGE AUTO SALES, INC.
TONY YOUSIF
Consent Agreement Dealer
File 10-0270 CA 10/26/2010
PROEQUITIES, INC.
Consent Agreement Other
File 10-0441 RO 10/26/2010
NORTHSIDE MOTORS, INC.
NASSER ROUMIE
Revocation Order Dealer
File 10-0437 RO 10/26/2010
LEWMINS AUTO, INC.
JOSEPH J. LEWIS
Revocation Order Dealer
File 10-0466 SC 10/26/2010
DAVID KARANDOS
Cease and Desist Securities
File 10-0477 CA 10/26/2010
CITIGROUP GLOBAL MARKETS, INC.
Consent Agreement Securities
File 10-0434 RO... 10/25/2010
D AND D AUTO SALES, INC.
ROBYN FOSTER
Revocation Order Dealer
File 10-0435 RO 10/25/2010
INSTANT AUTO SALES, INC.
SHAWN SLACK
Revocation Order Dealer
File 10-0432 RO 10/25/2010
BDR MOTORS, INC.
RICHARD L. WILSON
Revocation Order Dealer
File 10-0430 CA 10/25/2010
JUST MORTGAGES, LLC
MICHAEL AMOS
Consent Agreement Loan Broker
File 10-0412 RO 10/25/2010
LOUKESA WHOLESALE, CORP.
RAIMUNDAS VAITKEVICHIUS
Revocation Order Dealer
File 10-0268 CA 10/22/2010
LUNDIN & ASSOCIATES, INC.
REX BOYER
Consent Agreement Loan Broker
File 10-0239 RO... 10/21/2010
JML AUTO, INC.
MICHAEL E. ADRIEANSEN
Revocation Order Dealer
File 10-0240 RO... 10/21/2010
J ROB AUTO ENTERPRISE, INC.
DONALD ROBINSON, JR.
Revocation Order Dealer
File 10-0362 RO 10/21/2010
RIA MOTORSPORTS, INC.
ZULKIFLI HUSSIN
Revocation Order Dealer
File 10-0372 RO 10/21/2010
FATHOM CARS, INC.
STEPHEN PITTS
Revocation Order Dealer
File 10-0398 RO... 10/20/2010
NEWMAN'S AUTO AIR & MOTOR CARS, INC.
RODNEY G. NEWMAN, JR.
Revocation Order Dealer
File 10-0354 RO... 10/20/2010
NORTH AMERICA AUTO SALES, INC.
JOSEPH RICHARDS, SR.
Revocation Order Dealer
File 10-0355 RO... 10/20/2010
PETERS MOTOR SALES
ANTONIO P. FAVELA
Revocation Order Dealer
File 10-0244 RO 10/20/2010
HMA AUTO SALES, INC.
HUMBERTO SANCHEZ
Revocation Order Dealer
File 10-0238 RO... 10/20/2010
JD MOTORSPORTS, LLC
DAVID ASBACH
Revocation Order Dealer
File 10-0406 RO 10/19/2010
E&H AUTO SALES, INC.
EZEQUIEL ORTIZ
Revocation Order Dealer
File 10-0407 RO... 10/19/2010
SEAL THE DEAL, INC.
PHONG NGUYEN
Revocation Order Dealer
File 10-0411 RO... 10/19/2010
RUMEREX, LLC
GEORGE C. EKELEDO
Revocation Order Dealer
File 10-0392 RO 10/18/2010
MACDANIELS MOTORS
DANIEL HENNIS
Revocation Order Dealer
File 10-0410 RO... 10/18/2010
MOLINA AUTO WHOLESALE, INC.
RUBEN MOLINA
Revocation Order Dealer
File 10-0421 RO 10/18/2010
MB MOTORSPORTS, INC.
MARK BENNE
Revocation Order Dealer
File 10-0399 RO... 10/18/2010
RENAISSANCE ENTERPRISES
JAMES A. WEBB
Revocation Order Dealer
File 10-0395 RO... 10/18/2010
AMERICAN WHOLESALE OUTLET
JOSEPH PETERS
Revocation Order Dealer
File 10-0396 RO... 10/15/2010
B&B INTERNATIONAL AUTO, INC.
GARY C. LEE
Revocation Order Dealer
File 10-0384 RO 10/15/2010
HARBOR WEST MOTORS, INC.
IRVIN LITTLE
Revocation Order Dealer
File 10-308 CD 10/15/2010
DOCK TO DOCK TRUCKING
IVAN CHESTER BUSH
TERRY LEE PICKETT
Order to Show Cause Securities
File 10-0234 RO... 10/15/2010
ADIGE EMPIRE OTTOMAN, INC.
HAKAN GOVDELI
Revocation Order Dealer
File 10-0299 CD 10/15/2010
DEWITT MORTGAGE GROUP, INC.
EVAN DEWITT
Order to Show Cause Loan Broker
File 10-0295 SC... 10/15/2010
KRIS PEJOSKI
Order to Show Cause Loan Broker
File 10-0353 RO... 10/15/2010
ARMO MOTORS, INC.
KAREN MELIKJANYAN
Revocation Order Dealer
File 09-0180 CD... 10/15/2010
VISION MORTGAGE LENDING CORPORATION
MICHELLE HALL
Final Order Loan Broker
File 10-0351 RO... 10/14/2010
ECOMOTORS, LLC
OSAMA OSMAN
Revocation Order Dealer
File 10-0360 RO... 10/14/2010
HIGH PERFORMANCE AUTO, INC.
CARLOS TORRES
Revocation Order Dealer
File 10-0367 RO... 10/14/2010
BRADY AUTO, INC.
EARL BOWERS
Revocation Order Dealer
File 10-0357 RO 10/13/2010
WAYMAN UNIVERSAL, INC.
WAYDE TWYMAN
Revocation Order Dealer
File 10-0352 RO... 10/13/2010
AMICABLE AUTO SALES, INC.
STEPHEN ALABI
Revocation Order Dealer
File 10-0243 RO 10/13/2010
BLACKBERRY MOTORS, LLC
DOUGLAS DWECK
Revocation Order Dealer
File 10-0179 SR... 10/13/2010
MICHAEL ROBERT JOHNSON
Final Order Loan Broker
File 10-0390 RO... 10/13/2010
UNIVERSAL WHIPS
STEVEN ROBINSON
Revocation Order Dealer
File 10-0230 RO 10/6/2010
AUTO SALES EXPERTS
EFRAIN CARLIN
Revocation Order Dealer
File 10-0247 RO 10/6/2010
NICK'S ENTERPRISES, INC.
NADER KERAMY
Revocation Order Dealer
File 10-0311 CA 10/6/2010
EL SHADAI AUTO SALES, LLC
ADEYINCA F. FLEMING
Consent Agreement Dealer
File 10-0307 CA 10/4/2010
OGILVIE SECURITY ADVISORS CORPORATION
Consent Agreement Securities
File 10-0318 DO 10/1/2010
VALUE AUTO EXPERTS, INC.
PAVLO KARPIN
Denial Order Dealer
File 10-3224 RO 10/1/2010
NOTTAP AUTO SALES, INC.
DANIEL PATTON
Revocation Order Dealer
File 10-0296 CD... 9/30/2010
A1 AUTO WHOLESALE, LLC
KURT TOMPKINS
Cease and Desist Dealer
File 10-0306 RO... 9/30/2010
BLUE NORTH FOREIGN AUTO, INC.
CHRIS BABCOCK
Revocation Order Dealer
File 10-0300 CA 9/30/2010
TOP CAT MOTORS, INC.
Consent Agreement Dealer
File 10-020 RO... 9/30/2010
T.M.D. AUTO SALES, INC.
FEIFAN ZENG
Revocation Order Dealer
File 10-0204 RO... 9/30/2010
ALPHA & OMEGA LUXURY MOTORS, INC.
LISA BOLDEN
Revocation Order Dealer
File 10-0303 SR 9/23/2010
FIRST PLATINUM CORPORATION
Revocation Order Other
File 10-0235 RO 9/15/2010
TIMELINE AUTO GROUP
Revocation Order Dealer
File 09-0161 SC 9/11/2010
RYAN A. COLLICOTT
Consent Agreement Loan Broker
File 10-0272 SR 9/9/2010
GFA, INC. DBA DRC SERVICES GROUP
Revocation Order Other
File 10-0265 RO 9/3/2010
AAMCOA AUTO WHOLESALE
RONALD WAYNE MCHALE
Revocation Order Dealer
File 10-0231 RO 9/3/2010
ALA AUTO
ANDRE CASWELL
Revocation Order Dealer
File 10-0232 RO 9/3/2010
ALL SEASONS WHOLESALE
WAIL ZIYAD
Revocation Order Dealer
File 10-0148 CD... 9/1/2010
SEEED CONSORTIUM, LLC
HOME OWNERSHIP POSSIBILITIES FOR EVERYONE, LLC
Final Order Loan Broker
File 10-0275 CA 9/1/2010
CAMERON M. MOSS
Consent Agreement Loan Broker
File 10-0166 SR... 8/27/2010
DELORES M. HUSSEY
Final Order Loan Broker
File 10-0132 CA... 8/27/2010
EDWARD TODD BERRY
Final Order Securities
File 10-0224 RO... 8/26/2010
CCA CORPORATION D/B/A INDY AUTO BROKERS
Consent Agreement Dealer
File 10-0266 CD 8/26/2010
WELLINGTON FINANCIAL
JEFFEREY LYNN SMITH
Cease and Desist Securities
File 09-0152 CD 8/24/2010
FIRST FINANCIAL PLANNERS, INC.
FFP ADVISORY SERVICES, INC.
ROY MONROE HENRY
CRAIG ALLEN JUNKINS
ROBIN RODERMUND
ROBERT RODERMUND
BERNARD UELK
Consent Agreement Securities
File 10-0042 CD... 8/23/2010
MY SOCIAL INCOME, INC. F/K/A INTELECOM, INC.
MY SOCIAL INCOME, INC. F/K/A TOKSEE, INC.
JOHN A. ROBERTS, JR.
Consent Agreement Securities
File 10-0274 CA 8/23/2010
SUN MORTGAGE, LLC
Consent Agreement Loan Broker
File 10-0137 CA 8/20/2010
FIRST AMERICAN ADVISORY, LLC
SUSAN DIANE WIER
Consent Agreement Other
File 10-0147 CA 8/16/2010
TANOAH BEAVERS-GRANT
Consent Agreement Loan Broker
File 10-0221 CA 8/16/2010
JOHN BASIL SIMMONS
Consent Agreement Other
File 10-0222 CA 8/16/2010
PREMIERE PLANNING, INC.
ANDREW RAY FOSTER
Consent Agreement Other
File 10-0226 CA 8/16/2010
LORI L. PATANE
Consent Agreement Loan Broker
File 10-0149 CA 8/10/2010
MARK W. MILLER
Consent Agreement Securities
File 10-0056 SC... 8/9/2010
THOMAS B. HERNDON
Consent Agreement Securities
File 10-0056 SC... 8/9/2010
FIRST FUNDING & INVESTMENT GROUP, INC.
AARON K. LANTEIGNE
Consent Agreement Securities
File 10-0225 CA 8/6/2010
ALL AMERICAN HOME LENDING, INC.
PATRICK J. FLYNN
Consent Agreement Loan Broker
File 10-0224 RO... 8/2/2010
CCA CORPORATION d/b/a INDY AUTO BROKERS
Revocation Order Dealer
File 09-0124 CD... 8/2/2010
ULTRAWATT ENERGY SYSTEMS, INC.
TIMOTHY YABLONOWSKI
Consent Agreement Securities
File 10-0228 CA 7/29/2010
HOMESTAR FINANCIAL, LLC
Consent Agreement Loan Broker
File 10-0069 SC... 7/21/2010
CLARENCE JOHNSON
Final Order Loan Broker
File 10-0132 CA... 7/15/2010
EDWARD TODD BERRY
Cease and Desist Securities
File 10-0223 RO 7/15/2010
BENJI FAMILY MOTOR
FRITZNER BENJAMIN
Revocation Order Dealer
File 10-0233 RO 7/15/2010
BENJI FAMILY MOTOR
FRITZNER BENJAMIN
Revocation Order Dealer
File 10-0129 CA 7/14/2010
AMERIPRISE ADVISOR SERVICES, INC. F/K/A H&R BLOCK FINANCIAL ADVISORS, INC.
Consent Agreement Other
File 10-0131 CA 7/13/2010
IMBB INVESTMENT ADVISORS, INC.
Consent Agreement Other
File 10-0130 CA 7/12/2010
GARY G. BOUCH, JR.
Consent Agreement Securities
Other
File 10-0066 RO... 7/12/2010
READY TO RIDE AUTO
PAUL W. DEAL
Final Order Dealer
File 09-0171 CD... 7/12/2010
PIONEER TRUST CORPORATION
EDWARD A. YOUNG
Final Order Securities
File 10-0086 CA 7/9/2010
PINNACLE MORTGAGE FUNDING, LLC
SCOTT WEGHORST
Consent Agreement Loan Broker
File 10-0152 SC 7/9/2010
BMW OF NORTH AMERICA, LLC
Order to Show Cause Dealer
File 10-0200 SR 7/6/2010
JUDITH A. RUBLE
Revocation Order Loan Broker
File 10-0201 SR 7/6/2010
MELODY EVE SATTER
Revocation Order Loan Broker
File 10-0202 SR 7/6/2010
SHANNON LYNE SCOTT
Revocation Order Loan Broker
File 10-0203 SR 7/6/2010
JENNIFER LEE STAGGS
Revocation Order Loan Broker
File 10-0204 SR 7/6/2010
LAURA NICOLE STARK
Revocation Order Loan Broker
File 10-0207 SR 7/6/2010
BROCK KAVANAUGH WILSON
Revocation Order Loan Broker
File 10-0209 SR 7/6/2010
LISA ACREE
Revocation Order Loan Broker
File 10-0210 SR 7/6/2010
LAURA BELL ALBRECHT
Revocation Order Loan Broker
File 10-0211 SR 7/6/2010
JOELLEN DELORES COOPER
Revocation Order Loan Broker
File 10-0212 SR 7/6/2010
RENE COUTO
Revocation Order Loan Broker
File 10-0213 SR 7/6/2010
JAMIE L. DEARDORFF
Revocation Order Loan Broker
File 10-0215 SR 7/6/2010
KRISTOPHER JOSEPH DURBIN
Revocation Order Loan Broker
File 10-0216 SR 7/6/2010
JOSIAH FAUST
Revocation Order Loan Broker
File 10-0217 SR 7/6/2010
MARK ANDREW FRANCISCO
Revocation Order Loan Broker
File 10-0218 SR... 7/6/2010
CASSANDRA OCTAVIA GALTO
Revocation Order Loan Broker
File 10-0219 SR 7/6/2010
MELISSA MARIE GIRARDOT
Revocation Order Loan Broker
File 10-0220 SR 7/6/2010
GREGORY THOMAS GOETTERMAN
Revocation Order Loan Broker
File 10-0167 SR 7/6/2010
KAY CHAPMAN JOHNSON
Revocation Order Loan Broker
File 10-0168 SR 7/6/2010
KIRBY KARL KALBAUGH
Revocation Order Loan Broker
File 10-0169 SR 7/6/2010
PAUL NORMAN KING
Revocation Order Loan Broker
File 10-0170 SR 7/6/2010
JEREMY EUGENE KOREM
Revocation Order Loan Broker
File 10-0171 SR... 7/6/2010
NICOLE M. LAMBROS
Revocation Order Loan Broker
File 10-0172 SR 7/6/2010
MICHAEL ROSS MCLAHLAN
Revocation Order Loan Broker
File 10-0174 SR 7/6/2010
KIMBERLY YVONNE WYNNE
Revocation Order Loan Broker
File 10-0175 SR 7/6/2010
CHRISTOPHER MICHAEL WINKLER
Revocation Order Loan Broker
File 10-0176 SR 7/6/2010
VERA VEE HAYES
Revocation Order Loan Broker
File 10-0177 SR 7/6/2010
TRISHA ANN INMAN
Revocation Order Loan Broker
File 10-0178 SR... 7/6/2010
MATTHEW WAYNE JOHNSON
Revocation Order Loan Broker
File 10-0154 SR... 7/6/2010
JASON ABERNETHY
Revocation Order Loan Broker
File 10-0155 SR 7/6/2010
ANGELICA D. AKERS
Revocation Order Loan Broker
File 10-0156 SR 7/6/2010
GARY D. ATKINSON
Revocation Order Loan Broker
File 10-0157 SR 7/6/2010
DEBRA L. AYERS
Revocation Order Loan Broker
File 10-0158 SR 7/6/2010
KERRIS BROWN
Revocation Order Loan Broker
File 10-0159 SR 7/6/2010
TOM ANDREW BUSCH
Revocation Order Loan Broker
File 10-0160 SR 7/6/2010
JAMES G. CASE, JR.
Revocation Order Loan Broker
File 10-0161 SR 7/6/2010
CHAD CHRISTIAN CHILDRESS
Revocation Order Loan Broker
File 10-0162 SR 7/6/2010
JONATHAN CRAWFORD
Revocation Order Loan Broker
File 10-0163 SR 7/6/2010
JEFFREY JOSEPH DRAPEAU
Revocation Order Loan Broker
File 10-0164 SR 7/6/2010
JAIME ELIZABETH FLORES
Revocation Order Loan Broker
File 10-0166 SR... 7/6/2010
DELORES M. HUSSEY
Revocation Order Loan Broker
File 10-0180 SR 7/6/2010
TRAVIS XAVIER KOONTZ
Revocation Order Loan Broker
File 10-0181 SR 7/6/2010
SCOTT MICHAEL KRAMER
Revocation Order Loan Broker
File 10-0182 SR 7/6/2010
CHAD KENNETH LAMBERT
Revocation Order Loan Broker
File 10-0183 SR 7/6/2010
AMY NICHOLE LONG
Revocation Order Loan Broker
File 10-0184 SR 7/6/2010
TONY RAY MELTON
Revocation Order Loan Broker
File 10-0185 SR 7/6/2010
CHRISTOPHER M. MOON
Revocation Order Loan Broker
File 10-0186 SR 7/6/2010
COREY ALEXANDER MUNCY
Revocation Order Loan Broker
File 10-0187 SR 7/6/2010
CHARLES E. NANNIE
Revocation Order Loan Broker
File 10-0188 SR 7/6/2010
BRENT REXROAT
Revocation Order Loan Broker
File 10-0189 SR... 7/6/2010
JOSEPH MICHAEL RICHARD
Revocation Order Loan Broker
File 10-0190 SR... 7/6/2010
SCOTT ALLEN SAYLOR
Revocation Order Loan Broker
File 10-0191 SR 7/6/2010
DAVID MICHAEL SCOTT
Revocation Order Loan Broker
File 10-0192 SR 7/6/2010
CHRISTOPHER DAVID SHOEMAKER
Revocation Order Loan Broker
File 10-0193 SR 7/6/2010
GREGORY ALAN SMITH
Revocation Order Loan Broker
File 10-0195 SR 7/6/2010
RHONDA LEE THOMPSON
Revocation Order Loan Broker
File 10-0196 SR 7/6/2010
STEVEN KRAIG WAHL
Revocation Order Loan Broker
File 10-0197 SR 7/6/2010
ADAM JOSEPH CASBARRO
Revocation Order Loan Broker
File 10-0198 SR 7/6/2010
JAMES ANTHONY MATZEK
Revocation Order Loan Broker
File 10-0199 SR 7/6/2010
KENNETH L. RANSDELL
Revocation Order Loan Broker
File 10-0098 CA 7/1/2010
MGM INVESTMENTS, LLC
LESTER HINES
Consent Agreement Securities
File 10-0140 CA 7/1/2010
SMITH BROADY & ASSOCIATES, INC.
Consent Agreement Loan Broker
File 10-0141 CA 7/1/2010
CONNIE BOTLO
Consent Agreement Loan Broker
File 10-0142 CA 7/1/2010
RACHEL D. OGDEN
Consent Agreement Loan Broker
File 10-0145 CA 6/28/2010
FIRST COMMONWEALTH MORTGAGE CORP.
Consent Agreement Loan Broker
File 10-0001 SC... 6/28/2010
PERRIN, HOLDEN AND DAVENPORT CAPITAL CORP. a/k/a PHD CAPITAL
ALEX MAKAROVSKY
Consent Agreement Other
File 10-0153 CA 6/28/2010
BRIGHTSIDE CAPITAL PARTNERS, LP
SILVERBACK CAPITAL MANAGEMENT, LLC
Consent Agreement Other
File 10-0133 CA 6/18/2010
JOSEPH JENSEN
Consent Agreement Loan Broker
File 10-0134 CA 6/18/2010
GEORGE O'CONNOR
Consent Agreement Loan Broker
File 10-0135 CA 6/18/2010
THE MONEY SHOP, INC.
Consent Agreement Loan Broker
File 10-0136 CA 6/18/2010
JOHN LEROSE
Consent Agreement Loan Broker
File 10-0139 TO 6/17/2010
Tender Offer by JS ACQUISITION, INC. to Acquire all outstanding shares of EMMIS COMMUNICATIONS CORPORATION
Final Order Securities
File 10-0143 CA 6/17/2010
MARK MCCOOL
Consent Agreement Loan Broker
File 10-0144 CD 6/11/2010
RESEARCH & DEVELOPMENT, LP a/k/a RESEARCH & DEVELOPMENT, LP
RANDELL E. MORRISON d/b/a INNOVATION BROKERAGE MANAGEMENT, LP
Cease and Desist Securities
File 10-0041 cd... 6/9/2010
INTERNATIONAL FINANCE CORPORATION, INC.
INTERNATIONAL FINANCE GLOBAL CORP.
VANITA BANKS
Final Order Loan Broker
File 07-0028 CD... 6/9/2010
THE INVESTMENT GROUP
ELLA ELAINE NETOLICKY
Consent Agreement Loan Broker
File 10-0034 CA 6/3/2010
1ST CHOICE SERVICES, INC.
Consent Agreement Loan Broker
File 10-0039 CD 6/3/2010
FIRST OHIO HOME FINANCE, INC.
Consent Agreement Loan Broker
File 10-0059 CD... 6/3/2010
SOUTH AMERICAN TRADING, INC.
TEODORO S. GALLO-TESEN
Final Order Securities
File 10-0138 CA 6/3/2010
THE OLD ONES
Consent Agreement Dealer
File 10-0086 CD 5/27/2010
PINNACLE MORTGAGE FUNDING, LLC
SCOTT WEGHORST
Cease and Desist Loan Broker
File 10-0100 CA 5/25/2010
WHAT A DEAL MOTORS
Consent Agreement Dealer
File 10-0070 CA 5/18/2010
HOPE FINANCIAL SERVICES, INC.
STEVE RENFRO
Consent Agreement Loan Broker
File 09-0151 CD... 5/14/2010
KINGBIRD FINANCIAL, LLC
ROBERT J. NICE
Consent Agreement Securities
File 10-0088 CD... 5/13/2010
TRANS WORLD ANIMAL HEALTH, LLC
DONALD H. BLISS
Cease and Desist Securities
File 10-0079 RO 5/13/2010
QUALITY AUTO MART, LLC
BRANDON WITT
Revocation Order Dealer
File 10-0060 CA 5/10/2010
FAMILY HOME FINANCE, LLC
Consent Agreement Loan Broker
File 10-0061 CA 5/10/2010
DENNIS G. BOSSE
Consent Agreement Loan Broker
File 10-0063 CO 4/29/2010
GOLDMAN, SACHS & CO.
Consent Agreement
Final Order
Securities
File 10-0071 RO 4/29/2010
COB AUTO SALES, LLC
ALAN S. RASHO
Revocation Order Dealer
File 10-0075 RO 4/29/2010
MEV AUTOS, INC.
EDDY VOLTAIRE
Revocation Order Dealer
File 10-0077 CA 4/29/2010
ASHLEY DICKES F/K/A ASHLEY BUCKNER
Consent Agreement Loan Broker
File 10-0078 CA 4/29/2010
LIBERTY MORTGAGE, INC.
Consent Agreement Loan Broker
File 10-0072 RO 4/28/2010
#1 ACCESS AUTO MOTOR GROUP CORP.
GARY C. LEE
Revocation Order Dealer
File 10-0069 SC... 4/26/2010
CLARENCE JOHNSON
Order to Show Cause Loan Broker
File 08-0900 SC... 4/26/2010
CONTINENTAL MORTGAGE FUNDING CORPORATION
SVELTANA WALBY
Final Order Loan Broker
File 10-0066 RO... 4/21/2010
READY TO RIDE AUTO
PAUL W. DEAL
Revocation Order Dealer
File 10-0065 SC... 4/20/2010
THOMAS MARQUIS
Order to Show Cause Loan Broker
File 10-0062 RO 4/20/2010
GURLEY MOTORSPORTS, INC.
JOHN GURLEY
Revocation Order Dealer
File 10-0054 SC 4/16/2010
A TO Z AUTO SALES
ADEBOWALE R. ADERINTO
Final Order Dealer
File 10-0068 CA 4/16/2010
DYNAMIC MORTGAGE SOLUTIONS, LLC
MICHAEL MORIN
Consent Agreement Loan Broker
File 09-0198 SC... 4/16/2010
STIFEL NICOLAUS & COMPANY, INCORPORATED
Consent Agreement
Final Order
Securities
File 10-0056 SC... 4/15/2010
FIRST FUNDING & INVESTMENT GROUP, INC.
AARON K. LANTEIGNE
THOMAS B. HERNDON
Order to Show Cause Securities
File 10-0067 CA 4/15/2010
AMY KELLER
Consent Agreement Loan Broker
File 10-0064 CA 4/15/2010
BETH HARMES
Consent Agreement Loan Broker
File 10-0059 CD... 4/15/2010
SOUTH AMERICAN TRADING, INC.
TEODORO S. GALLO-TESEN
Cease and Desist
Order to Show Cause
Securities
File 10-0017 DO 4/6/2010
AMY N. LONG
Final Order Loan Broker
File 09-0218 CA 4/1/2010
AMERICAN HOME LOANS, LLC
Final Order Loan Broker
File 10-0055 SC 4/1/2010
BRIDGE AUTO WHOLESALE
MARCO PUENTE
Final Order Dealer
File 09-0246 CA 3/29/2010
JONATHAN PADGETT
Consent Agreement Loan Broker
File 10-0010 CD... 3/22/2010
MILTON DAVID WOODSON dba THE MAD MORTGAGE MACHINE
Consent Agreement Loan Broker
File 09-0263 CA 3/22/2010
ADAM BUTTERMORE
Consent Agreement Loan Broker
File 10-0035 CA 3/19/2010
GENESIS MORTGAGE D/B/A PARAMOUNT INVESTMENT CORPORATION
Consent Agreement Loan Broker
File 10-0036 CA 3/19/2010
SEAN GOBLE
Consent Agreement Loan Broker
File 10-0053 CA 3/19/2010
MISLIM RAMADANI
Consent Agreement Loan Broker
File 10-0030 SC 3/17/2010
SHANNON SCOTT
Consent Agreement Loan Broker
File 09-0277 CA 3/17/2010
JASON STONE
Consent Agreement Loan Broker
File 09-0114 CD... 3/17/2010
TRI-COUNTY FINANCE CO.
ROBERT OWENS
Consent Agreement Loan Broker
File 10-0002 CA... 3/16/2010
1ST SIGNATURE LENDING, LLC
AARON STOWERS
Consent Agreement Loan Broker
File 10-0052 CA 3/15/2010
OPM CONSOLIDATED, LLC
JASON D. SEVERS
Consent Agreement Securities
File 10-0046 CA 3/15/2010
PEERLESS FINANCIAL GROUP, INC.
BRIAN MCCOURT
Consent Agreement Loan Broker
File 10-0047 CA 3/9/2010
SPECTRUM MORTGAGE SERVICES, LLC
ART ISRAELOV
Consent Agreement Loan Broker
File 09-0276 CA 3/9/2010
TOM SNELLING
Consent Agreement Loan Broker
File 10-0049 SR 3/8/2010
1ST NATIONAL RECOVERY SOLUTIONS, LLC
Revocation Order Other
File 10-0042 CD... 3/8/2010
MY SOCIAL INCOME, INC. F/K/A INTELECOM, INC.
MY SOCIAL INCOME, INC. F/K/A TOKSEE, INC.
JOHN A. ROBERTS, JR.
Cease and Desist Securities
File 10-0040 CA 3/4/2010
GEORGE KOCHIS
Consent Agreement Loan Broker
File 10-0006 CA 3/4/2010
ENCORE MORTGAGE ENTERPRISES, INC.
Consent Agreement Loan Broker
File 09-0200 CA 3/2/2010
STATEWIDE MORTGAGE, LLC
Consent Agreement Loan Broker
File 10-0043 CD 3/2/2010
BEST WEST AUTO
Cease and Desist Dealer
File 10-0041 CD... 2/26/2010
INTERNATIONAL FINANCE CORPORATION, INC.
INTERNATIONAL FINANCE GLOBAL CORP.
VANITA BANKS
Cease and Desist Loan Broker
File 10-0031 CA 2/24/2010
FIRST MIDWEST FINANCIAL, INC.
Consent Agreement Loan Broker
File 10-0008 CA 2/24/2010
AUGUSTO CANO
Consent Agreement Loan Broker
File 08-0881 CD... 2/24/2010
PMC MORTGAGE CORPORATION DBA PRESTIGE MORTGAGE CORPORATION
Consent Agreement Loan Broker
File 09-0278 CA 2/24/2010
MICHELLE WIDENHOEFER
Consent Agreement Loan Broker
File 09-0264 CA 2/24/2010
MARILYN BUTTS
Consent Agreement Loan Broker
File 09-0265 CA 2/24/2010
SEAN BUTTS
Consent Agreement Loan Broker
File 09-0267 CA 2/23/2010
BRIAN EDWARDS
Consent Agreement Loan Broker
File 09-0269 CA 2/23/2010
ROBERT GREGORY
Consent Agreement Loan Broker
File 09-0247 CA 2/19/2010
SUSAN PEARCE
Consent Agreement Loan Broker
File 09-0239 CA 2/19/2010
PHIL CORNELIUS
Consent Agreement Loan Broker
File 08-0018 SC... 2/16/2010
ALPINE FINANCIAL,INC
SULLIVAN FUNDING GROUP,INC
LANCE L. LACONI
CHRISTINE R. COLE
Final Order Loan Broker
File 09-0268 CA 2/16/2010
LANA ERNIE
Consent Agreement Loan Broker
File 09-0266 CA 2/16/2010
ROBERT DOYLE
Consent Agreement Loan Broker
File 09-0244 CA 2/16/2010
AMANDA FLOURNOY
Consent Agreement Loan Broker
File 10-0002 CA... 2/15/2010
1ST SIGNATURE LENDING, LLC
AARON STOWERS
Consent Agreement Loan Broker
File 09-0077 CD... 2/12/2010
JEFFREY ZIMMERMAN
Final Order Securities
File 09-0201 CD... 2/11/2010
RYAN A. COLLICOTT
Final Order Loan Broker
File 09-0217 RO... 2/11/2010
WEST END AUTO 2
DONALD WEST
Final Order Dealer
File 09-0221 RO... 2/11/2010
WEST END AUTO
DONALD RAY WEST
Final Order Dealer
File 09-0223 RO... 2/11/2010
AUTO ONE, INC.
KENNETH GRZYMEK
Final Order Dealer
File 10-0015 CA 2/11/2010
MED-CARE ACCOUNTS SERVICE
Consent Agreement Other
File 10-0016 CD... 2/11/2010
J3 ADVISORS, LLC
JASON SPECTOR
Cease and Desist Loan Broker
File 09-0228 CD... 2/10/2010
SUNNYMTG.COM 866-768-CASH, LLC
Consent Agreement Loan Broker
File 09-0202 CO 2/10/2010
CREDIT SUISSE SECURITIES (USA) LLC
Consent Agreement
Final Order
Other
File 10-0011 CA 2/10/2010
MANJIT SINGH
Consent Agreement Loan Broker
File 10-0019 RO 2/10/2010
ROCKWALL AUTO BROKERS
CHRISTINE CHENNAULT
Revocation Order Dealer
File 09-0245 CA 2/10/2010
PHIL MCGRATH
Consent Agreement Loan Broker
File 09-0241 CA 2/9/2010
BRIAN DUNBAR
Consent Agreement Loan Broker
File 10-0023 RO 2/9/2010
FRAMSL AUTO, LLC
OLAMILEKAN ADEKOYA
Revocation Order Dealer
File 10-0024 RO 2/9/2010
RIDEZ 4 LESS
MICHAEL CHUCHERKO
Revocation Order Dealer
File 10-0007 CA 2/8/2010
AMERICAN NATIONAL MORTGAGE CORP. DBA AFFORDABLE MORTGAGE SOLUTIONS, INC.
Consent Agreement Loan Broker
File 09-0240 CA 2/8/2010
JONATHAN CRAWFORD
Consent Agreement Loan Broker
File 09-0255 CA 2/2/2010
PEARL BROWN
Consent Agreement Loan Broker
File 09-0226 CO 2/2/2010
MORGAN STANLEY & CO. INCORPORATED
Final Order Securities
File 10-0010 CD... 2/2/2010
MILTON DAVID WOODSON D/B/A THE MAD MORTGAGE MACHINE
Cease and Desist Loan Broker
File 09-0261 SC... 2/2/2010
ARVINA JOYCE CARLSON D/B/A STATE BONDING D/B/A STATE BONDING CALIFORNIA
Order to Show Cause Securities
File 10-0012 CA 1/29/2010
DEANNA VANDERWALL
Consent Agreement Loan Broker
File 09-0236 CA 1/22/2010
LIMESTONE MORTGAGE COMPANY, INC.
Consent Agreement Loan Broker
File 10-0003 CA 1/19/2010
WOODLAND MORTGAGE GROUP, LLC
COURTNEY BISHOP
Cease and Desist Loan Broker
File 10-0004 CA 1/19/2010
BRIAN D. RENO
Consent Agreement Loan Broker
File 09-0273 CA 1/14/2010
KARSTEN LOCHMUELLER
Consent Agreement Loan Broker
File 09-0270 CA 1/14/2010
PAUL JOHNSON
Consent Agreement Loan Broker
File 09-0238 CA 1/14/2010
TIFFANY BOOTH
Consent Agreement Loan Broker
File 09-0262 CA 1/13/2010
RANDI BAKER
Consent Agreement Loan Broker
File 10-0001 SC... 1/13/2010
PERRIN, HOLDEN AND DAVENPORT CAPITAL CORP a/k/a PHD CAPITAL
ALEX MAKAROVSKY
Order to Show Cause Other
File 09-0227 CO 1/12/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Consent Agreement
Final Order
Other
File 09-0237 C 1/11/2010
FIRST MERIDIAN MORTGAGE CORPORATION
CHRISTOPHER SQUIRES
Consent Agreement Loan Broker
File 09-0271 CA 1/11/2010
JONATHAN KOESTER
Consent Agreement Loan Broker
File 09-0275 CA 1/11/2010
PAM REUILLE
Consent Agreement Loan Broker
File 09-0260 CA 1/8/2010
JEFFREY A. COHEN
Consent Agreement Loan Broker
File 09-0140 CD 1/8/2010
DEUTSCHE BANK SECURITIES, INC.
Consent Agreement
Final Order
Other
File 09-0232 CA 1/7/2010
ALTO PASS AUTO FRANCHISING, INC.
MICHAEL STAFFORD
Consent Agreement Other

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